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SEC.gov | Economic Analysis
U.S. Securities and Exchange Commission· 5 days agoThe “Current Guidance on Economic Analysis in SEC Rulemaking” (March 16, 2012) (“Guidance”) was prepared by the Division of Economic and Risk Analysis and the Office of the ...
SEC.gov | Jared Mitchell
U.S. Securities and Exchange Commission· 4 days agoU.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 26018 / June 7, 2024 Securities and Exchange Commission v. Auerbach et al., No. 1:19-cv-5631 (E.D.N.Y. filed Oct. 4, 2019) < ...
SEC.gov | SEC Invites Regulated Entities to Submit Self-Assessments of Diversity Policies and...
U.S. Securities and Exchange Commission· 6 days agoEngaging in a self-assessment provides an opportunity for organizations to closely review their diversity and inclusion policies and practices for any strengths, opportunities, risks, and vulnerabilities ...
SEC.gov | Prepared Remarks before the Investor Advisory Committee
U.S. Securities and Exchange Commission· 5 days agoAs is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. This Investment ...
SEC.gov | Andreas Bechtolsheim
U.S. Securities and Exchange Commission· 2 days agoU.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 26014 / June 3, 2024 Securities and Exchange Commission v. Andreas Bechtolsheim, Civ. Action No. 5:24-cv-01845-PCP (N.D. Cal. filed ...
SEC.gov | Zhou Min Ni and Jian Ming “Jonathan” Ni, CPA
U.S. Securities and Exchange Commission· 2 days agoAccording to the SEC's complaint, which was filed in the U.S. District Court for the District of Columbia, Zhou Min Ni, while serving as HF Foods's CEO and Chairman, misappropriated ...
SEC.gov | Technology-Driven Change and Investor Protection: Remarks at the Investor Advisory...
U.S. Securities and Exchange Commission· 5 days agoThe democratization of finance, the rise of self-directed investing, much faster execution of trades, and the emergence of AI technologies will all continue to have ramifications for our capital ...
SEC.gov | Eras Tour of The Securities and Exchange Commission
U.S. Securities and Exchange Commission· 5 days agoHow did Taylor Swift break all-time records with the Eras Tour? After the 1929 market crash, President Roosevelt signed the first of the federal securities laws in 1933. Roosevelt went on to work with Congress to enact five more securities laws.
SEC.gov | SEC Charges Three New Yorkers for Raising More Than $184 Million Through Pre-IPO Fraud...
U.S. Securities and Exchange Commission· 4 days agoIn this new action, the SEC alleges that New York residents Mario Gogliormella, Steven Lacaj, and Karim Ibrahim directed an unregistered sales force of more than 50 callers ...
SEC.gov | Remarks at the Harvard Law School Program on International Financial Systems, 2024...
U.S. Securities and Exchange Commission· 5 days agoToday is a particularly special day for the U.S. Securities and Exchange Commission (“SEC” or the “Commission”). On this date ninety years ago, President Franklin D. Roosevelt ...
